Compliance Examiner

Business UnitRegular, Full timeClosing Date: November 13, 2026

The Ontario Securities Commission (OSC) is the statutory body responsible for regulating Ontario’s capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act. The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. This mandate is performed through policy, operational, and enforcement activities. The OSC also contributes to national and global securities regulation development.

We offer a diverse, fair, and flexible work environment and take pride in our challenging and rewarding work.

The Registration, Inspections & Examinations (RIE) division is currently looking for a CPA to join the team to conduct risk-based reviews of market participants in the securities industry. RIE oversees dealers, advisers, investment fund managers, derivative firms and other market participants that the public relies on when investing in securities. Using a risk-based approach, RIE is responsible for the registration and compliance reviews of registered firms. RIE consists of integrated, multi-disciplinary teams including professional staff (accountants and lawyers), registration officers and support staff.

We are looking for a Compliance Examiner who will work independently to assess, investigate, and resolve complex regulatory issues, including those that are novel or high risk. You will lead high profile projects and initiatives with significant market impact, apply strong project management skills, and serve as a trusted subject matter expert for colleagues and stakeholders.

Duties and Responsibilities:

Lead and conduct complex compliance reviews of registrants, market participants, regulated entities, and self regulatory organizations, including CIRO.

• Assess, investigate, and resolve complex regulatory, operational, and compliance issues, including matters that are novel, high risk, or have policy implications.
• Analyze business models, governance frameworks, and operational structures to identify regulatory risks and compliance concerns.
• Lead multidisciplinary review teams, develop recommendations, and contribute to regulatory outcomes ranging from remediation initiatives to enforcement referrals and policy development.
• Conduct interviews with registrants, regulated entities, investors, and other stakeholders to support compliance reviews and investigations.
• Review complaints, tips, and inquiries, assess potential regulatory concerns, and recommend appropriate regulatory action.
• Partner with internal teams, Canadian Securities Administrators (CSA) jurisdictions, and other regulatory bodies on complex regulatory matters and initiatives.
• Lead or contribute to high profile policy, regulatory, and strategic projects with significant market impact.
• Research and analyze complex regulatory issues, prepare reports and recommendations, and present findings to management and stakeholders.
• Mentor and provide guidance to junior staff, supporting their development and the delivery of high-quality regulatory work.
• Represent the OSC on internal, CSA, and industry committees and working groups.
• Serve as a trusted subject matter expert by providing guidance on registration, conduct, compliance, and regulatory issues.

Qualifications:

• Undergraduate business or finance degree

• Other designations including C.M.A./ C.G.A./C.P.A, CFA, Investment Adviser Certified Compliance Professional Program or LLB considered an asset

• Requires up to 8 years of industry, compliance and operational experience in the securities industry

• Has a working knowledge of the Canadian and international securities regulatory environment and how regulatory actions impact stakeholders

• Provides direction and/or specialty advice on the interpretation and/or development of policies, practices and projects including

• Projects – may lead a team on project work, provide technical direction and understand implications of rule changes. Evaluates effectiveness after implementation

• Mentoring – provides mentoring of more junior staff

Please note this opportunity is considered to be a business critical role supporting the Registration, Inspections and Examinations Division.

Grow your career and make a difference working at the OSC.

* OSC Employees: please apply in Workday using the Browse Jobs feature within your Jobs Hub *

We thank all applicants for their interest in the Ontario Securities Commission. We will contact those selected for an interview.

The OSC is committed to diversity and providing an inclusive workplace and providing accommodation in accordance with the Accessibility for Ontarians with Disabilities Act and the Human Rights Code. It is our priority to ensure employment opportunities are visible and barrier-free to all under-represented groups including but not limited to, Indigenous, Black and racialized groups, people with disabilities, women and people from the 2SLGBTQI+ community, to achieve an employee demographic profile reflective of the demographic profile of Ontarians.

The OSC is a proud partner with the following organizations: Ascend Canada, BlackNorth Initiative, Canadian Centre for Diversity and Inclusion, and Pride at Work Canada

If you require an accommodation during the recruitment process, please let us know by contacting our confidential inbox [email protected].

Visit Accessibility at the OSC to review the OSC’s policies on accessibility and accommodation in the workplace.